Auditing and advising securities institutions

Securities institutions must comply with various regulatory requirements as part of their business activities. The specific structure of the regulations depends on the type, scope, complexity and risk content of the business activity. We follow this principle of proportionality when auditing and advising our clients in order to keep the burdens as low as possible. We use the knowledge gained in the course of auditing and consulting to support the management and supervisory bodies as a sparring partner.

Service areas at a glance

• Audit of annual financial statements and consolidated financial statements
• Carrying out the necessary audits of the annual financial statements and consolidated financial statements in accordance with statutory regulations, taking into account all relevant regulatory requirements.
• Audit of the securities services business
• Audit of the securities services business in accordance with § 89 WpHG.
• Assumption of the auditing function
• Performance of internal auditing tasks as part of an outsourcing agreement.
• Assumption of the compliance function
• Provision of compliance function tasks as part of an outsourcing agreement.
• Advice on regulatory issues
• Professional support in the context of regulatory issues.